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Second Risk Alert on Marketing Rule Compliance | Tannenbaum Helpern Syracuse & Hirschtritt LLP

Second Risk Alert on Marketing Rule Compliance | Tannenbaum Helpern Syracuse & Hirschtritt LLP
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Investment Management Update August 2023

In this issue, we cover regulatory developments from the second quarter of 2023 impacting the investment management sector, including the following:…

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Investment Management Update - August 2023 | Skadden, Arps, Slate, Meagher & Flom LLP

Closed-End Fund Activism Update - Activist investors continue to take large positions in closed-end funds and engage in disruptive activity that may be harmful to.

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Division Of Exams Issues Risk Alerts On Safeguarding Customer Records At Branch Offices And LIBOR-Transition - Financial Services

The staff at the Securities and Exchange Commission's Division of Examinations (the "Division") conducts the SEC's National Exam Program. Recently, the Division issued two Risk Alerts.

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Security and Exchange Commission Enforcement Priorities

Highlight of the top SEC enforcement actions and regulation changes incl Texas Republican Attorney Generals Ask Court to Set Aside SEC Proxy Voting Disclosure Rules, 25 States File Lawsuit to Block DOL’s ESG Rule, EC Issues Frequently Asked Questions Registration Mounicipal Advisors

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